Pinchos Goldberg
Associate
Pinny Goldberg is an associate in the Labor & Employment Law Department. Pinny represents employers in a broad array of matters before federal and state courts, FINRA and other arbitration panels, and administrative agencies, including the EEOC and its state equivalents, and in pre-litigation negotiations. Matters he works on include discrimination and harassment, wage and hour, wrongful discharge, whistleblowing and retaliation, covenants not to compete, breaches of fiduciary duty, unjust enrichment, and tort and contract claims.
In addition to handling litigation and dispute resolution, Pinny regularly advises clients on a wide variety of employment issues, including drafting, reviewing and revising handbooks and workplace policies. He also addresses questions and concerns related to hiring, wage and hour issues, employee leave, performance problems, terminations of employment, and separation agreements and releases.
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On January 29, 2021, the U.S. Court of Appeals for the Fifth Circuit affirmed the dismissal of a SOX whistleblower retaliation claim where the plaintiff failed to establish an employer-employee relationship with the defendant. Moody v. Am. Nat’l Ins. Co., No. 20-cv-40462. Background Plaintiff was the owner and president of Moody Insurance Group (“MIG”). MIG … Continue Reading
A recent Bloomberg article reports that whistleblower complaints to the SEC have soared as employees have been working from home during the COVID-19 pandemic. According to the article, the SEC received 6,900 complaints in the fiscal year that ended on September 30, 2020 – a 31% jump from the previous 12-month record. The article discusses … Continue Reading
The Commodity Futures Trading Commission (“CFTC”) recently released its 2020 Annual Report on the status of its whistleblower program for the fiscal year ending on September 30, 2020. The report, prepared by the CFTC’s Whistleblower Office (“WBO”), contains statistics on the tips received and awards granted during the previous fiscal year, describes the WBO’s recent … Continue Reading
On October 22, 2020, the SEC announced an award of over $114 million to a whistleblower who, after reporting internally to their employer, provided the SEC with information and assistance that led to the successful enforcement of SEC and related actions. The $114 million award consists of an approximately $52 million award in connection with … Continue Reading
On September 30, 2020, the U.S. District Court for the Northern District of Georgia granted an employer’s motion to dismiss a Dodd-Frank whistleblower claim on the ground that the alleged whistleblower did not complain to the SEC prior to his termination. The court also granted Plaintiff’s SOX whistleblower claim as against three affiliates of Plaintiff’s … Continue Reading
On September 30, 2020, the SEC’s Office of the Whistleblower announced multi-million dollar awards to two whistleblowers who provided the SEC with information that assisted the agency in bringing a successful enforcement action. (The order granting the awards can be accessed here.) The larger of the two awards, $22 million, is one of the SEC’s … Continue Reading
On September 23, 2020, by a vote of 3 to 2, the U.S. Securities and Exchange Commission announced the adoption of a final rule implementing several changes to its whistleblower program, citing the need to “provide greater clarity to whistleblowers and increase the program’s efficiency and transparency.” The following addresses the key provisions of the … Continue Reading
On September 14, 2020, the SEC announced payment of more than $10 million to a whistleblower who provided original information to the SEC that led to a successful enforcement action. (The order granting the award can be accessed here.) In explaining the reason for its award determination, the SEC noted that the whistleblower had “provided … Continue Reading
On July 16, 2020, the Third Circuit affirmed the dismissal of a former IT analyst’s whistleblower retaliation claim, holding that he lacked an objectively reasonable belief that his complaints implicated one of the enumerated forms of fraud in the SOX whistleblower provision. Reilly v. GlaxoSmithKline, LLC, No. 19-cv-2897. Background Plaintiff was an IT analyst for … Continue Reading
On June 29, 2020, the Administrative Review Board (“ARB”) upheld the dismissal of a whistleblower retaliation complaint under Section 806 of the Sarbanes-Oxley Act (“SOX”) for failure to file within the 180-day statutory deadline. Xanthopoulos v. Marsh & McLennan Companies, Inc., ARB Case No. 2019-0045 (June 29, 2020). Background Complainant was an employee of Mercer … Continue Reading
On June 18, 2020, the U.S. Department of Labor Administrative Review Board (“ARB”) held that a complaint about a theoretical violation of the Dodd-Frank Wall Street Reform and Consumer Financial Protection Act of 2010 (“Dodd-Frank”) does not constitute protected activity under the whistleblower provisions of that statute. Bryan Horn v. University First Federal Credit Union, … Continue Reading
On June 12, 2020, the U.S. District Court for the Southern District of Texas granted a motion to dismiss in favor of the defendant in a SOX whistleblower retaliation case, finding that the alleged whistleblower – a contractor and advisory board member of the defendant – was not an employee of the defendant, as required … Continue Reading
On June 15, 2020, Senator Kamala Harris and Representatives Jackie Speier and Jamie Raskin introduced the COVID-19 Whistleblower Protection Act (the “Act”), which seeks to provide protections for employees who blow the whistle on employers who misuse federal funds received through various measures enacted by Congress aimed at mitigating the impact of the coronavirus pandemic. … Continue Reading
On June 4, 2020, the SEC announced a nearly $50 million award to a whistleblower who provided the SEC with detailed, first-hand information that assisted the agency in bringing a successful enforcement action. While tipsters have previously shared a $50 million award, this is the largest amount ever awarded to a single whistleblower under the … Continue Reading
A Reuters article published on May 26, 2020 reports that the SEC has experienced an uptick in complaints amid the COVID-19 pandemic. According to the article, the SEC received about 4,000 complaints from mid-March through mid-May – a 35% increase from the previous year. With an abundance of tips at its disposal, the SEC is … Continue Reading
On May 5, 2020, a Magistrate Judge in the U.S. District Court for the Western District of Pennsylvania issued a report and recommendation recommending that a defendant-employer’s motion for summary judgment dismissing a SOX whistleblower retaliation claim be granted, finding that the plaintiff had not engaged in protected activity. Wutherich v. Rice Energy Inc, No. … Continue Reading
In recent weeks, there have been numerous widely reported incidents of employees, particularly those in the health care industry, claiming that they have been retaliated against for reporting health and safety concerns related to COVID-19. Such complaints are indicative of the kinds of whistleblower and retaliation claims employers are likely to see in the near … Continue Reading
On April 16, 2020, the SEC announced payment of more than $27 million to a whistleblower who alerted the agency to misconduct that had occurred, in part, overseas. (The order granting the award can be accessed here.) In explaining the reason for its award determination, the SEC noted that the whistleblower had “repeatedly and strenuously … Continue Reading
On February 28, 2020, the U.S. District Court for the Southern District of New York dismissed a former chief marketing officer’s claim of whistleblower retaliation under the Dodd Frank Act. Cellucci v. O’Leary No. 19-cv-02752 (S.D.N.Y. 2020). Background Plaintiff is one of several former chief executives of a closely-held infrastructure technology company who were terminated. … Continue Reading
As we previously reported, the Department of Labor’s (DOL) Administrative Review Board has twice held that Sarbanes Oxley’s anti-retaliation provision does not apply extraterritorially. See Hu v. PTC, Inc., ARB Case No. 2017-0068 (Sept. 18, 2019); Perez v. Citigroup, Inc., ARB Case No. 2017-0031 (Sept. 30, 2019). An Administrative Law Judge (ALJ) of the DOL … Continue Reading
On December 9, 2019, the U.S. District Court for the Southern District of New York ruled that, as a matter of law, directors cannot be held liable under the anti-retaliation provisions of the Sarbanes-Oxley Act. Zornoza v. Terraform Global Inc., No. 18-cv-11617. Background Plaintiff is the former President and CEO of the defendant companies which … Continue Reading
The Commodity Futures Trading Commission (“CFTC”) recently released its statutorily mandated 2019 Annual Report covering the fiscal year ending on September 30, 2019. The report, prepared by the CFTC’s Whistleblower Office (“WBO”), outlines the tips received and awards granted during the fiscal year, and describes the status of the WBO’s initiatives to educate consumers about … Continue Reading
As reported in Proskauer’s Labor Relations Update blog, the NLRB issued an important opinion on December 17, 2019 relating to employer rules requiring confidentiality from employees during workplace investigations. Apogee Retail LLC d/b/a Unique Thrift Store, 368 NLRB No. 144 (2019). The Board held, in a reversal of the Obama-era Board, that employers may require … Continue Reading
On October 31, 2019, the ARB held that an employee who merely “hints” that he or she intends to file a whistleblower complaint has not engaged in protected activity sufficient to invoke the whistleblower protection provision in SOX. Hoptman v. Health Net of California, ARB Case No. 2017-0052, (Oct. 31, 2019). Background Complainant was a … Continue Reading
Fifth Circuit Affirms Dismissal of SOX Whistleblower Claim for Lack of Employer-Employee Relationship
By Steven J. Pearlman, Pinchos Goldberg and Rebecca Fishbein on Posted in SOX Whistleblower Decisions
Bloomberg: SEC Receives Record Number of Whistleblower Tips From Remote Employees
By Harris Mufson and Pinchos Goldberg on Posted in SEC
CFTC Releases 2020 Annual Report on its Whistleblower Program
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in CFTC
SEC Announces Record-Breaking $114 Million Award to Whistleblower
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
Ga. District Court Dismisses Dodd-Frank and SOX Whistleblower Claims
By Steven J. Pearlman, Pinchos Goldberg and Melissa A. Overbeck on Posted in Dodd Frank, SOX Whistleblower Decisions
SEC Awards Almost $30 Million to Two Insider Whistleblowers
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
SEC Amends Whistleblower Program Rules
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SEC
SEC Awards Whistleblower More Than $10 Million
By Steven J. Pearlman and Pinchos Goldberg on Posted in SEC
Third Circuit Confirms Limits on Scope of Protected Activity Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
ARB Denies Equitable Tolling of 180-Day Statute of Limitations Under SOX
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in Dodd Frank, Key ARB Decisions
ARB Rules That Complaints about Theoretical Violations are not Protected Whistleblowing Activity under Dodd-Frank
By Lloyd B. Chinn, Pinchos Goldberg and Heylee Bernstein on Posted in Dodd Frank, DOL Decisions
Texas District Court Dismisses SOX Whistleblower Claim for Lack of Employer-Employee Relationship
By Lloyd B. Chinn, Pinchos Goldberg and Alex Downie on Posted in SOX Whistleblower Decisions
COVID-19 Whistleblower Protection Bill Introduced Into Congress
By Steven J. Pearlman, Lloyd B. Chinn, Pinchos Goldberg and Tony S. Martinez on Posted in Legislation
SEC Announces Record-Breaking $50 Million Award to Whistleblower
By Lloyd B. Chinn, Pinchos Goldberg and Dominique Kilmartin on Posted in SEC
Reuters: SEC Eager to Prosecute COVID-19 Misconduct Amid Flurry of Whistleblower Complaints
By Harris Mufson, Pinchos Goldberg and Dominique Kilmartin on Posted in SEC
Pennsylvania Magistrate Judge Recommends Dismissal of SOX Whistleblower Claim for Lack of Protected Activity
By Steven J. Pearlman, Pinchos Goldberg and Heylee Bernstein on Posted in SOX Whistleblower Decisions
Whistleblower Claims on the Horizon Amid COVID-19 Pandemic
By Steven J. Pearlman, Lloyd B. Chinn, Harris Mufson, Pinchos Goldberg and Caroline Guensberg on Posted in Best Practices, OSHA Administration, State-Specific Whistleblower Claims
SEC Awards Whistleblower More Than $27 Million
By Lloyd B. Chinn and Pinchos Goldberg on Posted in SEC
SDNY Dismisses Dodd-Frank Whistleblower Claim for Lack of Protected Activity and Causation
By Harris Mufson, Pinchos Goldberg and Scott Tan on Posted in Dodd Frank
DOL Decision Confirms Extraterritorial Limits of SOX Whistleblower Provision
By Harris Mufson, Pinchos Goldberg and Dominique Kilmartin on Posted in DOL Decisions, SOX Whistleblower Decisions
SDNY: Directors Not Liable For Whistleblower Claims Under SOX
By Steven J. Pearlman, Pinchos Goldberg and Scott Tan on Posted in SOX Whistleblower Decisions
CFTC Releases FY 2019 Annual Report
By Lloyd B. Chinn, Pinchos Goldberg and Scott Tan on Posted in CFTC
NLRB Permits Confidentiality Restrictions During Internal Investigations
By Lloyd B. Chinn and Pinchos Goldberg on Posted in Best Practices, Investigations, Rule 21F-17
ARB: “Hinting” at Filing a Whistleblower Complaint is Not Protected Activity
By Steven J. Pearlman, Pinchos Goldberg and Abigail Rosenblum on Posted in Key ARB Decisions
